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Hong Kong license number 9:Company establishment、Licensee qualifications and operating facility requirements

Financial card care question

Many are operating financial businesses in the Mainland,Companies that may be planning to expand their business to asset management in Hong Kong,Consult oftenHong Kong license number 9processing conditions。The following summarizes the core management points:first,A limited company must be incorporated in Hong Kong;Secondly,The company needs to prepare working capital of about 3 million to 5 million Hong Kong dollars,To prove the ability to engage in relevant business;It is best to have a physical presence in Hong Kongoffice space,Companies that really plan to implement operations will generally implement this step。also,The company’s senior executives andLicenseeTaxi must be well equipped,Information systems required for business development can be purchased or leased,After passing the test,Waiting for the wholesale license。

Basic requirements for Hong Kong No. 9 license application

  1. registeredHong Kong company
  2. Qualified licensees (if there is no suitable candidate yet),You can hire local licensees or adopt affiliation arrangements)
  3. Actual office space,Need to cooperate with the China Securities Regulatory Commission’s inspection
  4. Business operation system,Can be purchased or rented
  5. Ensure application information and procedures are clear,Avoid unnecessary delays;If you entrust an intermediary to handle it,Be sure to choose a reliable service provider,Prevent services from being subcontracted,Affect the company's normal operations

About Hong Kong Xintong

Hong Kong Xintong focuses onHong Kong Securities and Futures Commission licenseHong Kong Insurance Broker LicenseHong Kong MSO Licenseandmoneylenders licenseApply for service,Assist customers to applyUS MSB license、NFA、RIA、Canadian MSB license、Mainstream overseas financial licenses such as Australia and Mexico,Support enterprises to achieve compliance expansion of cross-border financial business。Also availableCayman Islands Offshore Company Registration、Offshore fund establishment and global compliance operations and other services,Help enterprises expand their presence in international markets。Provide one-stop compliance solutions for enterprises。To learn more,Please contactHong Kong Information Communications Consultant

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Picture of Zhou Haoming

Zhou Haoming

Zhou Haoming has experience in the fields of asset management and securities regulatory compliance in Hong Kong. 8 years of experience,Served in key business and compliance positions in a licensed asset management company。He is familiar with the Hong Kong Securities and Futures Commission (SFC) regarding 9 Application conditions for asset management license、Risk control framework requirements、internal compliance system、Compliance rules such as portfolio management control and officer qualification requirements。Zhou Haoming is good at formulating internal compliance manuals and ongoing operational compliance processes that comply with the Securities and Futures Ordinance.。

Areas of expertise:SFC 9 Application for number license、risk control framework、Officer qualification requirements、Securities and Futures Ordinance、Internal Compliance Manual。

Previous institutions:Hong Kong licensed asset management company & SFC Compliance Team

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Hong Kong and Chinese team · Senior financial compliance experts